James A. Mueller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Armin Mueller, who also goes by Jim Mueller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2001 - December 31, 2003
RESOURCE HORIZONS GROUP LLC
November 18, 1997 - December 31, 1999
LOCUST STREET SECURITIES, INC.
August 8, 1996 - September 16, 1997
VOYA FINANCIAL ADVISORS, INC.
April 25, 1994 - July 11, 1996
LOCUST STREET SECURITIES, INC.
September 21, 1984 - March 5, 1987
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1983 - April 28, 1994
PRUCO SECURITIES, LLC.
August 12, 1983 - September 25, 1984
HERITAGE-PARK SECURITIES, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
